--------------------------------------- Division 1 Contacting, Soliciting, or Giving Advice for Customer and Performance of Duties as Professional --------------------------------------- Clause 12. Derivatives broker shall arrange to have
notification of the SEC Office. Chapter 3 Operation --------------------------------------- Division 1 Contacting, Soliciting, or Giving Advice for Customer and Performance of Duties as Professional
the appointment or during the period of duty performance, the appointed arbitrator shall disclose to the parties all facts that may give rise to justifiable doubts as to his impartiality or independence
parties shall appoint the arbitrators as per Form OrYor. 5 or OrYor. 5-1 prescribed by the Office, as the case may be. Clause 17. Upon the appointment or during the period of duty performance, the appointed
the date on which such giving of advice is made in Thailand. Chapter 2 Operation ____________ Division 1 Contacting, Soliciting, or Giving Advice to Clients and Performance of Duty as Professional
at least two years from the date on which such giving of advice is made in Thailand. Chapter 2 Operation ____________ Division 1 Contacting, Soliciting, or Giving Advice to Clients and Performance of
employees’ performance of their duties. In this regard, the policies, regulations, and guidelines shall be formulated in writing, approved by the derivatives broker’s board of directors, and comply with the